Senior Compliance Analyst
Our client, an Independent Commodities and Energy Trading House, with International presence, who are looking to on board a Compliance Analyst.
To support the Compliance Manager and Head of Compliance by:
- Providing compliance advice to colleagues and businesses on a day to day basis;
- Taking ownership of specific Compliance projects, e.g. policy and procedure drafting, risk assessments, etc.
- Supporting compliance associates as necessary with the day to day monitoring and targeted monitoring and reviews;
- Developing and conducting Induction and other face-to-face training
- Minimum 3 years compliance experience within EU regulated derivatives trading environment required – commodity focused experience preferable.
- Strong knowledge and practical application of the FCA Handbook including, Conduct of Business Sourcebook (COBS), Senior Management Arrangements, Systems and Controls (SYSC) and Market Conduct (MAR) as well as key EU legislation: MiFID II, MAD/MAR and EMIR to derivatives sell side activity.
- Experience in running compliance reviews, risk assessments, remediation projects and policy drafting processes.
- Experience of NYMEX, ICE, the LME and OTC markets is desirable but not essential.
- Knowledge of rules and guidance in respect of Customer Due Diligence (CDD) including but not limited to JMLSG, FATF & FCA desirable but not essential.
Main Duties & Responsibilities
- Apply internal policy, FCA and EU rules to requests from business and compliance team to provide accurate and considered compliance advice.
- Proactively lead and own specific risk assessments, policy review and compliance review projects, engaging with stakeholders around the company.
- Support the Compliance Manager and Head of Compliance in delivery of key projects, particularly MiFID II implementation.
- Manage defined day-today and ad-hoc compliance tasks.
- Develop and provide bespoke face to face training to the business and other compliance staff on regulatory and compliance issues, EU and UK rules and internal policy and procedures. Deliver Induction training to all new starters.
- Monitor changes in the UK and EU regulatory environment and provide advice to Compliance Manager and Head of Compliance.
- Support, as necessary, other Compliance team staff in completing routine monitoring and other required tasks.
- Any other task of a reasonable nature to enable the Compliance function to meet is objectives and obligations.